Combined AFSL/ACL Appointing representatives and banned (conflicted) remuneration


inc GST

It also covers monitoring and supervision of all representatives.  This procedure* has been designed to comply with:
  • RG 205 – Credit Licensing: General Conduct Obligations;
  • RG 206 – Credit Licensing: Competence and Training;
  • RG 146 - Licensing: Training of financial product advisers; 
  • RG 104 - Licensing: Meeting the general obligations; and
  • PF209 licence conditions 6 and 7.
The procedure includes a pro-forma training register and development plan which can be easily duplicated for each representative.

What's included?

Once payment is received, the procedure is delivered via email as a downloadable file(s) in Word and/or Excel format, together with a tax invoice. 

*This procedure(s) will not comply with the regulatory requirements if it is not correctly tailored to your particular business and kept up-to-date.  Compact - Compliance & Training is not responsible for the tailoring and implementation or upkeep of each procedure once purchased by the licensee.  Compact - Compliance & Training can assist you tailor these documents.  The first step towards keeping your procedure(s) up-to-date is to subscribe to our tailored monthly regulatory update service, T-REX.  The content of each procedure will vary depending on legislative and policy changes and updates, as well as the nature of the licensee.  This procedure(s) is current on the date of purchase.  Whilst every care is taken in their preparation, Compact - Compliance & Training makes no representation that these documents are fit for your particular purpose, and accepts no responsibility for any loss or damage or cost incurred as a result of their use.  Compact - Compliance & Training takes no responsibility for formatting or other errors resulting from software errors, defects, incompatibility or viruses.

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